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Legal Staff Paralegal in Los Angeles, CA

Wells Fargo May 09,2017 Apr 13,2017 Location Los Angeles CA
This job is expired...

In-House

Legal Staff

Litigation

Litigation - Whistleblower - CFTC

Min 1 yrs required

Profile

Compliance Specialist 2 (Regional Compliance Coordinator) The candidate will oversee the compliance-related and loan documentation needs of the Company Capital Finance Corporate Finance ABL units (“Units”) that report to Kurt Marsden, including primarily the Syndicated Finance division reporting to Kurt Duerfeldt. The main areas of responsibility would be to: Set up and populate a Compliance File for each new deal; Place all Bank Secrecy Act (BSA) orders via Company Capital Finance Cornerstone or Wells Fargo Credit Investigations (CIG), as needed; Assist with the set-up and/or completion of certain due diligence forms for all new deals; Populate the CIP, TTC, and CTM modules of Precise for all new deals and generate related exception reports periodically; Use OneView to track the status of all post-closing deliverables and notify the Relationship Manager (RM) of outstanding items; Populate and update the DTS module of Precise for all Uni-form Commercial Code (UCC) filings and insurance info; Monitor UCC and insurance expiration dates monthly; Notify RMs when UCCs and Insurance certificates have expired/are expiring within the next 30 days. Oversee the quarterly compliance reporting for the office; Learn Company Capital Finance’s Corporate policies and procedures related to BSA and Background Investigation requirements; Provide assistance, as requested, with general administrative items and DQR reminders; Assist with Compliance exam preparation (serving as the Office’s SharePoint point person), with Compliance Reviews of all new deals, and with other special projects identified by the Compliance Officer, the Regional Credit Manager or by Company Capital Finance’s Compliance and Risk Management team; Via a bi-weekly contact with the RMs and Underwriters, confirm whether there are any new transactions/principals/ Amendments & Extensions in the pipeline. Perform records retention functions on a quarterly basis; Learn and be responsible for the performance of other future compliance-related and loan documentation tasks that may be required of Company Capital Finance; Learn other account-related responsibilities to provide back-up or cross-over support, as necessary; and Complete all quarterly on-line training requirements on time. A High School diploma or equivalent required. Associates Degree or higher preferred, ideally in Finance or Accounting. Experience with Credit Investigations Group’s ordering process, and with Company Capital Finance’s Precise system of record -particularly with its Document Tracking System (DTS) and Compliance Tracking (CTM) modules is needed. Notary Commission is also preferred (Notary Commission must be obtained within six months of start date). Should have preferable 2+ years experience in a lending environment, preferably in asset-based lending. Should have 1+ year of experience in one or a combination of the following: compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), IT systems security, business process management, or financial services, demonstrated through work or military; or a BS/BA degree or higher in business or a related field. Paralegal experience is preferred. SharePoint experience is desired. Strong analytical skills with high attention to detail and accuracy. Deadline: 05/11/2017.

Additional info

Job ID: 5325308

Company info